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Showing 142 to 151 of 387 search results for culture and governance priority.
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Culture and Governance
Read about the FCA's work on culture and governance, including details of how to get involved. -
Final Notice 2019: R. Raphael & Sons Plc [pdf]
This final notice refers to breaches of PRIN 2, PRIN 3, SYSC 8 relating to culture/governance in the retail bank sector. We imposed a financial penalty. -
Power brokers: how to transform into the lynchpins of the ecosystem
Speech by Emily Shepperd, FCA Chief Operating Officer at the British Insurance Brokers' Association Conference. -
Decision Notice 2018: Mohammad Ataur Rahman Prodhan [pdf]
This decision notice refers to an alleged breach of APER 6, and allegedly being knowingly concerned in a breach of PRIN 3 in relation to financial crime controls in the retail bank sector. We have proposed imposing a financial penalty. -
FCA decision notice 2015: Charles Palmer [pdf]
This decision notice refers to breaches of APER 6 and FIT related to appointed representatives, culture/governance, lack of fitness/propriety and unfair treatment of customers in the investment adviser sector. Our view is that a financial penalty -
Funeral plan providers and intermediaries
The FCA regulates the pre-paid funeral plans sector. See all our resources for firms. -
Finance for positive, sustainable change
In this blog, Sacha Sadan delves into how the FCA has been working with industry, government and global partners to raise ESG standards. -
2019 fines
This page contains information about enforcement fines published during the calendar year ending 2019. -
Climate change and sustainable finance
The FCA's work on climate change and other environmental, social and governance (ESG) issues. -
The role of regulation in encouraging good culture
Speech by Andrew Bailey, Chief Executive of the FCA, delivered at the Investment Association Culture Conference, Mansion House, London. -
Looking ahead to 2014
Speech by Martin Wheatley, Chief Executive of the FCA, at the ICI Global Trading and Market Structure Conference. This is the text of the speech as drafted, which may differ from the delivered version.